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SEC proposes CEO pay ratio disclosure rule
  • Locke Lord LLP
  • USA
  • September 26 2013

The SEC issued a proposed rule on September 18, 2013, that would require most public companies to report the ratio between the annual total


SEC proposes rules on required say-on-pay and golden parachute votes
  • Locke Lord LLP
  • USA
  • November 1 2010

The Dodd-Frank Wall Street Reform and Consumer Protection Act, signed into law in July 2010, will require public companies to put specific matters to their stockholders for non-binding, advisory votes as early as January 2011


The Dodd-Frank Act - executive compensation & corporate governance provisions
  • Locke Lord LLP
  • USA
  • July 16 2010

On July 15, 2010, the Dodd Frank Wall Street Reform and Consumer Protection Act was approved by the Senate and is expected to be signed into law by President Obama shortly


D&O policy exclusion barring coverage for securities suits is not limited to only the insured's securities
  • Locke Lord LLP
  • USA
  • November 24 2008

The Eighth Circuit Court of Appeals recently upheld an exclusion in a D&O policy barring coverage for suits against officers and directors arising out of the underwriting and sales of securities


SEC proposes roadmap for the use of International Financial Reporting Standards
  • Locke Lord LLP
  • USA
  • December 1 2008

Last month, the United States Securities and Exchange Commission (“SEC”) issued a release (“Release”) setting forth a roadmap (“Roadmap”) for the potential use by U.S. issuers of financial statements prepared in accordance with International Financial Reporting Standards (“IFRS”), as issued by the International Accounting Standards Board, rather than statements prepared in accordance with U.S. GAAP accounting standards


Obama Administration outlines executive compensation guidelines and legislative initiatives
  • Locke Lord LLP
  • USA
  • June 16 2009

On June 10, 2009, Treasury Secretary Timothy F. Geithner and SEC Chairperson Mary L. Schapiro announced broad-based initiatives to reform executive compensation practices, applicable to all public companies, particularly those in the financial sector


Client advisory - say on pay - not just for TARP recipients anymore
  • Locke Lord LLP
  • USA
  • September 10 2009

The House of Representatives recently passed legislation which would require, among other things, an annual stockholder vote on executive compensation


SEC permits (and may require) proxy solicitations on the internet
  • Locke Lord LLP
  • USA
  • February 5 2007

Issuers and third parties will soon be able to solicit proxies for annual meetings by posting proxy materials on an Internet website


S.D.N.Y. dismissal in Amex indicates how courts should analyze suits spawned by credit crisis
  • Locke Lord LLP
  • USA
  • October 1 2008

The United States District Court for the Southern District of New York recently dismissed for a second time a federal securities class action against American Express Co. (“Amex”


SEC and NAIC take affirmative steps to address corporate disclosures regarding climate change
  • Locke Lord LLP
  • USA
  • October 27 2009

On October 2, 2009, as part of the 48th Annual Corporate Counsel Institute held at Northwestern University School of Law, SEC Commissioner Elisse B. Walter gave a speech entitled “SEC Rulemaking ‘Advancing The Law’ To Protect Investors.”